13F-HR filed by Oxbow Advisors, LLC
Oxbow Advisors, LLC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-01-21, with 212 holding rows worth $715,216,000.
- Accession
- 0001564770-15-000001
- Filer
- CIK 1564770
- Filed
- 2015-01-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 212 entries on the cover page, a total value of $715,216,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $715,207,000 with VALUE read as thousands by filing date, 13F file number 028-15434. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 1,864,072 | $78,869,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 4,131,837 | $22,932,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 475,573 | $21,258,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 2,602,876 | $18,220,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 1,282,420 | $16,441,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 173,331 | $16,024,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 1,982,198 | $14,807,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 627,927 | $13,883,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 319,265 | $13,728,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 962,569 | $13,630,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 961,704 | $13,329,000 | thousands by filing date | |
| Goldman Sachs Series D Pref | 38144G804 | Preferred Stock | 676,724 | $13,311,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 325,987 | $12,645,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 926,292 | $11,968,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 831,714 | $11,494,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 780,396 | $11,448,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 714,125 | $10,840,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 253,735 | $10,124,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 753,505 | $9,931,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,155,126 | $9,322,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 387,809 | $8,629,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 309,151 | $8,599,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 104,622 | $8,375,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 234,590 | $8,286,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 424,460 | $8,086,000 | thousands by filing date | |
| MS 6 7/8 PERP | 61763E207 | PUBLIC | 300,375 | $7,993,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 534,960 | $7,805,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 164,684 | $7,650,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 300,756 | $7,600,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 386,872 | $7,010,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 771,679 | $6,968,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 374,296 | $6,898,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 305,568 | $6,771,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 470,682 | $6,571,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 252,050 | $6,466,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 380,890 | $6,228,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 108,742 | $6,175,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 428,608 | $5,988,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 164,788 | $5,952,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 146,165 | $5,490,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 352,515 | $5,464,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 298,872 | $5,347,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 273,911 | $5,278,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 151,162 | $5,078,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 254,030 | $4,801,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 169,781 | $4,567,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 227,281 | $4,448,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 86,487 | $4,439,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 463,691 | $4,368,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 281,045 | $4,145,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 83,300 | $4,113,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 294,411 | $4,113,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 185,869 | $4,080,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 216,680 | $3,846,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 55,400 | $3,762,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 85,740 | $3,603,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 56,121 | $3,423,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 40,855 | $3,244,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 49,252 | $3,201,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 208,761 | $3,156,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 26,740 | $3,000,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 83,882 | $2,937,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 186,240 | $2,906,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 74,539 | $2,882,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 72,054 | $2,815,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 39,159 | $2,808,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 39,479 | $2,726,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 27,000 | $2,718,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 194,825 | $2,700,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 25,756 | $2,693,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 70,236 | $2,677,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 105,020 | $2,614,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 121,472 | $2,573,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 33,560 | $2,556,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 15,476 | $2,543,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 178,984 | $2,475,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 105,715 | $2,439,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 135,470 | $2,426,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 162,698 | $2,403,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 48,813 | $2,283,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 22,085 | $2,280,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 268,202 | $2,234,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 95,061 | $2,180,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 68,773 | $2,142,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 241,135 | $2,115,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 267,832 | $2,105,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 173,774 | $1,988,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 45,129 | $1,905,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 39,000 | $1,845,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 8,958 | $1,841,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 55,171 | $1,817,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 41,864 | $1,789,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 78,710 | $1,788,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 412,010 | $1,772,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 177,935 | $1,701,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 110,915 | $1,689,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 32,590 | $1,534,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 76,739 | $1,494,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 21,164 | $1,417,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 35,156 | $1,393,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 30,744 | $1,387,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 73,862 | $1,368,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 97,249 | $1,359,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 111,925 | $1,287,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 52,279 | $1,271,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 87,480 | $1,249,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 22,000 | $1,195,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 122,206 | $1,124,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 20,299 | $1,113,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 46,520 | $1,098,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 12,052 | $994,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 15,520 | $950,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 71,950 | $937,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 21,928 | $914,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 62,397 | $902,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 12,600 | $897,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 20,000 | $852,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 17,505 | $838,000 | thousands by filing date | |
| VTI | 922908769 | COM | 7,860 | $833,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 15,110 | $757,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 844,180 | $734,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 49,576 | $701,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 33,479 | $660,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 7,217 | $657,000 | thousands by filing date | |
| SUNOCO INC | 86764P109 | COMMON STOCK | 12,950 | $645,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 10,240 | $642,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,450 | $636,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 27,275 | $634,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,750 | $602,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 9,366 | $587,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 40,690 | $580,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 8,076 | $579,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 60,515 | $577,000 | thousands by filing date | |
| Peyto Expl & Dev Corp | 717046106 | COM | 19,847 | $572,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 7,805 | $559,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 5,665 | $536,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 9,288 | $536,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 4,825 | $533,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 4,338 | $501,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 4,709 | $495,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 33,281 | $477,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 3,800 | $470,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 6,218 | $459,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 6,986 | $457,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 8,510 | $454,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 11,872 | $453,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 34,500 | $452,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 137,689 | $452,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,414 | $444,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 7,904 | $444,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 18,139 | $424,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 5,200 | $423,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 9,969 | $420,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 45,000 | $419,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 7,369 | $408,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 26,730 | $393,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,200 | $381,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 11,650 | $373,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 7,455 | $369,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 68,216 | $366,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 16,700 | $361,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 2,700 | $357,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,114 | $355,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 27,026 | $347,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 23,015 | $333,000 | thousands by filing date | |
| NICHOLAS APPLEGATE | 65370G109 | EXCHANGE TRADED | 37,083 | $330,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 6,986 | $315,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 27,038 | $309,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 3,370 | $308,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 6,683 | $301,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,350 | $277,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 4,751 | $276,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 11,725 | $272,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 5,378 | $265,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 18,780 | $258,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,794 | $257,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 2,740 | $255,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,820 | $242,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 6,155 | $242,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 17,110 | $242,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 11,370 | $232,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 16,850 | $230,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $226,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 3,960 | $223,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 16,245 | $221,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 829 | $219,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,381 | $212,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 2,000 | $212,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 6,091 | $209,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 4,800 | $207,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 8,410 | $207,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,191 | $204,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 19,688 | $202,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 24,640 | $191,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 43,656 | $186,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 14,915 | $167,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,500 | $157,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 10,030 | $151,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 10,695 | $151,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 41,000 | $148,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 10,936 | $145,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 37,161 | $138,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 17,900 | $127,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 10,695 | $126,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 25,000 | $121,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14,809 | $120,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 15,307 | $92,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 35,330 | $85,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,000 | $73,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 25,000 | $46,000 | thousands by filing date | |
| LEUCROTTA EXPLORATION INC | 52728x208 | COM | 20,000 | $25,000 | thousands by filing date | |
| TOOTIE PIE COMPANY INC | 890515109 | COM | 17,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001564770-15-000001 | this filing | 2015-01-21 | acceptance time not in the bulk data set |